Member Workshops

Upcoming Member Meetings:

Member Regulatory Conferences - Houston, Los Angeles and San Francisco

NFA will hold regulatory conferences in Houston, Los Angeles and San Francisco.

The half-day conferences, presented by NFA staff and other futures professionals, will discuss the current state of the industry; NFA's examination process, including common deficiencies identified on exams of FCMs, IBs, CPOs and CTAs; performance reporting; and financial reporting requirements, among other topics.

The half-day conferences, presented by NFA staff and other futures professionals, discussed the current state of the industry; NFA's examination process, including common deficiencies identified on exams of FCMs, IBs, CPOs and CTAs; performance reporting; and financial reporting requirements, among other topics. The materials and resources from the conferences can be accessed through the respective links above.

NFA held a workshop to assist swap dealers (SD) and major swap participants (MSP) with the registration process. The three-hour workshop, presented by NFA staff, was held at NYMEX World Headquarters in New York on November 28, 2012.

The workshop covered the registration process starting from the filing of Form 7R to the completion of all components required to obtain a provisional registration status. NFA staff also discussed timelines for completing each registration component; fee payment wiring instructions, including cut-off times; and other important registration-related issues.

CPO Workshops - London, New York, Chicago and San Francisco

NFA held a series of workshops in London (September 18, 2012), New York (September 27, 2012 and October 23, 2012), Chicago (October 2, 2012) and San Francisco (October 11, 2012) for entities that, due to the recent CFTC rule amendments, are operating or advising commodity pools that previously had been exempt from registration as CPOs or CTAs. The workshops, presented by NFA staff and other futures professionals, focused on the registration process, disclosure document preparation, performance reporting, financial reporting requirements and sales practices. The materials and resources from all workshops are available here.

Compliance Workshop for Forex IBs, CPOs and CTAs - Chicago

On September 27, 2011, NFA hosted a Compliance Workshop for Forex IBs, CPOs and CTAs at the UBS Conference Center, One North Wacker Drive in Chicago. The workshop focused on areas in which NFA Compliance staff members have frequently found regulatory deficiencies, including disclosure documents, recordkeeping, promotional material and anti-money laundering programs for IBs. Click here to view the workshop materials and handouts.

CTA Registration/Compliance Workshops - London

NFA offered two registration/compliance workshops for Commodity Trading Advisors at the upcoming Emerging Manager Forum on July 7 in London. The 90-minute workshops outlined the steps required to register in the United States as a Commodity Trading Advisor and provide an overview of a CTA's regulatory requirements, including disclosure documents, performance reporting and sales practices.

Compliance Workshop for Forex IBs, CTAs and CPOs - New York

On June 28, 2011, NFA hosted a Compliance Workshop for Forex IBs, CTAs and CPOs at the NYMEX building in New York. The workshop focused on areas in which NFA Compliance staff has frequently found regulatory deficiencies, including registration issues, disclosure documents, recordkeeping, promotional material and anti-money laundering programs for IBs. Click here to view the workshop materials and handouts.

CPO/CTA Regulatory Seminar - New York

On April 22, 2010, NFA hosted a CPO/CTA Regulatory Seminar at the NYMEX World Headquarters, World Financial Center, One North End Avenue, New York City. The seminar focused on several CPO/CTA issues, including new and pending legislation, recent additions to financial reporting requirements and common errors made in promotional material and disclosure documents. The seminar also outlined the NFA audit process and discuss common audit deficiencies. Click here to view the seminar materials and handouts.

CPO/CTA Regulatory Seminar - Chicago

On March 2, 2010, NFA hosted a CPO/CTA Regulatory Seminar in Chicago. The seminar focused on several CPO/CTA issues, including new and pending legislation, recent additions to financial reporting requirements and common errors made in promotional material and disclosure documents. The seminar also outlined the NFA audit process and discussed common audit deficiencies. In addition, CFTC Commissioner Michael Dunn gave the keynote address. Click here to view the seminar materials and handouts.

Promotional Material and Compliance Issues for Small Firms Workshops

On May 19, 2008, NFA hosted two half-day workshops: the Promotional Material workshop and the Compliance Issues for Small Firms workshop. The Promotional Material workshop covered all aspects of promotional material rules and regulations. The Compliance Issues for Small Firms workshop addressed small firm regulatory issues and compliance practices.

CPO/CTA Workshop - Chicago

On May 3, 2007 NFA conducted its second CPO/CTA workshop in Chicago, Illinois. The workshop consisted of six sessions, covering all aspects of CPO and CTA operations. In addition, CFTC Commissioner Walt Lukken gave the keynote address.

CPO/CTA Workshop - New York

On October 24, 2006 NFA conducted a CPO/CTA workshop in New York City. The workshop consisted of four sessions, covering all aspects of CPO and CTA operations, from registration to soliciting clients to filing financial statements and preparing for an NFA audit. In addition, CFTC Commissioner Walt Lukken gave the keynote address.